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OCCIDENTAL ASSET MANAGEMENT, LLC
CRD 168650File 801-78516
APPROVED
Retail clients
Custody
Filing as of Sep 23, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.07B
Above cohort median (national)
Discretionary AUM
$1.07B
Clients
908
1,921 accounts
Employees
15
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Sep 6, 2013
- Principal office
- 301 CALIFORNIA DRIVE #9, BURLINGAME, CA, 94010
- Phone
- 650-344-1600
- Website
- https://occidentalasset.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.07B
- Discretionary AUM
- $1.07B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,921
- Non-discretionary accounts
- 0
- Total accounts
- 1,921
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 908 | $1.07B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 12 | 15 | increased by3 |
| Mar 1, 2026 | Clients | 565 | 908 | increased by343 |
| Mar 1, 2026 | AUM | $953,420,608 | $1,071,771,428 | increased by$118,350,820 |
| Mar 1, 2026 | Accounts | 1,866 | 1,921 | increased by55 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 540 | 565 | increased by25 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $796,083,948 | $953,420,608 | increased by$157,336,660 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 1,713 | 1,866 | increased by153 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 12 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 435 | 540 | increased by105 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $523,737,691 | $796,083,948 | increased by$272,346,257 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,308 | 1,713 | increased by405 |
| Mar 1, 2022 | Clients | 400 | 435 | increased by35 |
| Mar 1, 2022 | AUM | $422,085,914 | $523,737,691 | increased by$101,651,777 |
| Mar 1, 2022 | Accounts | 1,160 | 1,308 | increased by148 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “OCCIDENTAL ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OCCIDENTAL ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.